PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03232 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Strategic Financial Group, Inc. Phillip D. Miller Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1991, Claimant, Dean Witter Reynolds, Inc. through its representative, Dominick J. Dorata, Esq., New York,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Adrian J. Good Claimant vs. D.H. Blair & Co., Inc. Wolfgang Hein Respondents PUBLIC CASE #91-03228 AWARD D.H. Blair & 100 shares of H & R Block, Inc. 2,300 shares of Cattleguard CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant, Adrian J. Good, who appeared Pro S

M.A.S.2... AWARD ASSOCIATICN CP SECURITIES DEALERS r±ie totter at the Arbitration Between nf Michael Kane 91-03227 »-q Cbatfield Dean & Co. James Padgett rTanoois A. Fischer Claimant Michael Kane ("Clainant") was represented by Charles O'RourJce, Esq. of the Law Offices of Charles O'Rourxe. Respcsaient Cbatfield Dean & Co. { "Chatf ield" ) was represented by Stephen F. Of Lohf , gHa-ima« £ ROSS. Respondent James Padgett ("Padgett

PUBLIC ASSOCIATION OF SBCDRITIES DEALERS, INC. CASE f91-03225 ANABD In The Matter Of The Arbitration Between Robert J, Bruno Claimant vs. Hibbard Brown & Company, Inc., and Ken Clayton Respondents CBSB 3MMMY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant Robert J. Bruno who appeared Pro Se, alleged that in October 1989 Respondent Ken Clayton a registered representative

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03223 AWARD In the Matter of Arbitration Between Jeff L. McGraw Claimant vs. Pacific Brokerage Services Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1991, Claimant Jeff L. McGraw who appeared Pro Se, alleged that Respondent Pacific Brokerage Services failed to execute an order to purchase (3) Septe

N.A.S.D. ANAED NATICMAL ASSOCIATION OF SECDRITE2S DEALERS In the tetter of tne Arbitration Between Name of Claimant (s) Barry Tnqbefr vs. 91-03222 Name_of_R£spcindent(s) Richey Financial Group, For Claimant: H my-maa Fehn, Esq., Fields, Fehn & Sherwin For Respondents: Lloyd S. Pan tell, Esq., Relnsteiri, Pantell, naiv*T*« &. Rice TBBQROKSIQX Statanent of naim filed: October 15, 1991 Claimant's Sutmiflsion Agreement signed oat October 4,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: John J. Robson 91-03221 Name of Respondent PaineWebber, Inc. ___^ - *T- . REPRESENTATION OF PARTIES For Claimant, John Robson: Edward Koppman, Esq. and Mary L. 0'Connor, Esq. of Akin, Gump, Hauer, & Feld, L.L.P., Dallas Texas. For Respondent, PaineWebber, Inc.: Sarah G. Anderson, Eaq. of PaineWebber, In

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lester Symons v. Scott Spruth and Morgan Stanley Dean Witter Case Number: 00-05251 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Lester Symons Appeared pro se For Respondents: Wendy Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION Statement of Claim filed on or about: November 20, 2000

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wilma L. Clark Claimant, vs . NY Life Securities, Inc. Respondent CASE #91-03219 AWARD CASE SUMMARY In a claim filed with the National Association oi Securities Dealers, Inc. on October 15, 1991, Claimant Wilma L. Clark who appeared Pro Se, alleged that Respondent NY Life Securities, Inc. recommended an unsuitable investment in MFS Gover

National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Loreta T. Fama Claimant PUBLIC vs. #91-03218 Citation Securities, Inc. Peter R. Cocciardi Respondents Representation Claimant Loreta T. Fama appeared pro se* Respondent Citation Securities, Inc. was represented by its President, Barry Russell. Respondent Peter R. Cocciardi appeared pro se. Case Information Statement of Claim filed: October 1